The SEC staff has advised FIF that the SEC is considering the expansion of Rule 605 to cover options. The SEC staff has requested input from FIF on this topic. The FIF Rule 605 Working Group is working on a set of recommendations relating to Rule 605 for options. The next meeting for this Working Group is scheduled for Tuesday, October 12, 2021 at 2pm ET.
POSTED Oct 04,2021
On September 30, 2021, members of the FIF Rule 606 Working Group met with the staff of the SEC’s Division of Trading and Markets to discuss the challenges with Rule 606 look-though for options. The next meeting of the FIF Rule 606 Working Group will be scheduled for the week of October 11. During this meeting, Working Group members will review a draft request for exemptive relief to be submitted by FIF to the SEC.
POSTED Oct 04,2021
FIF is pleased to announce that DASH Financial Technologies has joined the FIF Community.
POSTED Sep 27,2021
FIF will be hosting two webinars on best execution across asset classes. The first webinar, on Monday, September 27 from 4-5pm ET, will focus on best execution for equities and options. The second webinar, on Tuesday, September 28 from 4-5pm ET, will focus on best execution for fixed income and cryptocurrency. Participants on the first panel include Wayne Aaron of the Vedder Price law firm, Brent Arnold of TD Ameritrade, Craig Murray and Nate Pomeroy of Wolverine, Ben Calev of BXS, and Peter Weiler of Abel Noser. Participants on the second panel include Constantinos Antoniades, adviser to Liquidnet, Mark Davies of S3, Alan Konevsky of tZERO, Alex Sedgwick of Abel Noser, and Dave Weisberger of CoinRoutes.
POSTED Sep 27,2021
On October 12, 2021, Peter Chan and Valerie Mirko of the Baker McKenzie law firm will discuss the recent SEC fines against firms for failure to protect personally identifiable information (PII) of customers. This will be a spotlight presentation during the October Cybersecurity Working Group call. The invite for this presentation has been sent to all members of the FIF Cybersecurity Working Group and the newly-created FIF Compliance Working Group. If you are interested in participating on this call and do not have the invite in your calendar, please update your profile and add yourself to either the Cybersecurity Working Group or the newly formed Compliance Working Group. Email us at fifinfo@fif.com if you have any questions.
POSTED Sep 27,2021
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